A growing interest in funds focused on Environmental, Social, and Governance (ESG) assets has prompted the U.S. Securities and Exchange Commission (SEC) to see that investors are better informed regarding ESG-related risks. There just happens to be a difference in … Read More
If Willie Sutton were alive today, he might be targeting seniors instead of robbing banks. Why? Because that’s where the money is. An ongoing and rapid increase in the size of the nation’s 65-and-over population and the disproportionate wealth among … Read More
On episode 89 of the CCO Buzz podcast, we discuss tips and tricks for preparing for a State Examination.
On December 22, 2020, the Securities and Exchange Commission (“SEC”) released the final rule that will govern investment adviser advertisements and payments to solicitors.[1] Deemed by the securities industry as the “New Marketing Rule”, its main purpose is to modernize … Read More
On episode 88 of the CCO Buzz, Core Compliance discusses what your firm should be thinking about now to prepare for the New Marketing Rule.
When it comes to the preparation and submission of required annual documents to the U.S. Securities and Exchange Commission (SEC), few regulatory filings demand the level of meticulous care that investment advisory firms must use in completing Form ADV. It … Read More
On episode 87 of the CCO Buzz, we discuss the advantages of compliance technology with Core Compliance’s Managing Director of Consultation Services, Tina Mitchell.
Recent action brought by the U.S. Securities and Exchange Commission (SEC) against a Miami-based hedge fund manager offers another cautionary tale about the need for investors to perform a high level of due diligence when dealing with private placement memorandums … Read More
In its recently issued annual report on state-registered investment advisers, the North American Securities Administrators Association (NASAA) was straightforward about the steps it believes advisers should be taking to create a culture of compliance in today’s rapidly changing regulatory environment. … Read More
On Episode 86 of the CCO Buzz, Managing Director of Consultation Services, Tina Mitchell joins us to discuss the new ERISA exemption for financial professionals.